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Today's Headlines

How Morgan Stanley Is Winning Big Against Runaway Advisors
For the past two years the wirehouse has been granted more TROs than they've been denied.
Fired UBS Broker Launches RIA Aimed at Pro Athletes
The broker was discharged last August over allegations of providing incomplete information to the firm’s lawyers.
Former Broker Faces Three Years in Prison Over Stealing from Elderly Couple
The man pleaded guilty to stealing more than $270,000.
Why FA Firms Are Luring Back Professionals to the Work Force
So-called “returnships,” which are typically paid, are now offered by several financial industry giants, including Fidelity and Goldman Sachs.
Video
How CE Credits Are Getting Easier to Find and More Useful to Do
Finra continuing education director explains how the space is evolving.  Video [ 6:12 ]   Transcript  
Sponsored Webcast
Today: Danger: Compliance Risks for Advisors and How to Turn them into Opportunities
Satisfying compliance requirements adds steps and time to simple tasks, but financial advisors know they can’t risk skipping any of them. This webcast, sponsored by Seismic, discusses how smart processes can help advisors turn these requirements into opportunities to stand out among their peers.
Captrust Adds Firms with $2 Billion In Combined AUM
The recent additions are the Pennsylvania-based McQueen, Ball & Associates and the Ohio-based Cornerstone Capital Advisors.

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